E-Filing

E-Filing manages the E-File list. It bundles a list of CTRs or SARs, then generates batch file of FinCEN's new CTR and SAR format for upload or transmission to the BSA E-Filing System.
Click the E-File in the left navigation menu under SAR & CTR, a new E-Filing Tab folder will appear in the right panel. There are 3 sub-Tab folders: Search E-File, Search result E-File and Create New E-File.

Screenshot

a) Search E-File

Search Criteria

E-File Id This is the system generated unique number for E-File entry in the system.
E-File Type Type of the E-File, SAR or CTR
Org unit Code The org unit this E-File belongs to. It is used to control access
Transmitter Name Name of the transmitter
Address Address of the transmitter
City City of the transmitter
State State of the transmitter
Zip Zip code of the transmitter
Country Country of the transmitter
Phone Phone of the transmitter
Contact Contact of the transmitter
Coverage Beginning Date The Beginning Date of the SAR/CTR covered
Coverage Ending Date The Ending Date of the SAR/CTR covered
Address Address of the transmitter
Created By User who the E-File
Created Date The date when the E-File is created
AND and OR Select AND radio box if you want those criteria add together.
Select OR radio box if you want to get the result of either criteria meet

Functional buttons

  1. Find:
    click Find button to search.
  2. Clear:
    click Clear button to clear all the criteria.

b) Search Result E-File

Screenshot

The top part is the table which shows the list of the E-Files that meet the search criteria. The bottom part are the details. There are Details, SAR/CTR, and Action Log Tabs,

In the Details Tab, there are E-File - General and Transmitter(1A) sub Tabs
Each E-File can have 1 to SAR or CTR records.

c) Update E-File

Double Click the selected record in the table to modify this entry. A new Tab folder "Update E-File" will be added, as show below.

Screenshot

Action Options

  1. E-File Action:
    Select an action to perform. The action allowed to perform is configured via the workflow along with the user permission.
  2. Action Reason:
    Select a pre-defined action reason in the dropdown menu.
  3. Comments:
    Add comments in the comments text area.

Functional buttons

  1. Submit:
    Depends on the action user selected. Some actions will open a pop-up window or open a new Tab to allow user to input more data.

    To add a CTR and SAR, select the Add SAR or Add CTR action. Only the CTRs/SARs with status code equal to "Ready to File" will be allowed to be added for efile.

  2. Reset:
    reset the data to its initial value, discard all the changes.
  3. Close:
    Discard this change(if any) and switch back to "Search result E-File" Tab.

d) Create New E-File:

Select the "Create New E-File" Tab to create a new entry. The mandatory fields in all tabs must be filled.
The easy way to create a new E-File is by copying from another One.

Screenshot
Screenshot
Field Name Descriptions.
E-File Id This is the system generated unique number for E-File entry in the system.
E-File Type Type of E-File, CTR or SAR.
Assign To Assign to an individual
Each E-File has a status and can assign to an individual or a group.
Assign To Group Assign to a Group
Org unit Code The org unit this E-File belongs to. It is used to control access
E-File Explain Explain why we need to create this E-File
Action Reason Select a pre-defined action reason in the dropdown menu.
Comments Add comments on creating the E-File

Functional buttons

  1. Create:
    Click the Create button to create a new E-File and switch to "Search result E-File" Tab. Some fields are mandatory, an error pop-up window will show if the data does not pass the validation.
  2. Reset:
    Click the Reset button to reset all the fields to initial value.
  3. Close:
    Click the Close button to cancel operation and switch to "Search result E-File" Tab.